The Role In this role, you will be assisting the Global Mandate Monitoring Team in covering both pre and post trade mandate monitoring. You will also assist the Global Mandate Monitor team on project related work and work with other functions of the business and undertake additional responsibilities assigned by manager. As part of the role you will be required to undertake ad-hoc activities and projects to develop and enhance the mandate monitoring processes.
- Chicago, IL, USA
- Permanent, Full time
- Aviva Investors
- 23 Apr 19
Mandate Monitoring Analyst
Mandate Monitoring Analyst - COO - Chicago
In this role, you will be assisting the Global Mandate Monitoring Team in covering both pre and post trade mandate monitoring. You will also assist the Global Mandate Monitor team on project related work and work with other functions of the business and undertake additional responsibilities assigned by manager.
As part of the role you will be required to undertake ad-hoc activities and projects to develop and enhance the mandate monitoring processes.
- Maintain pre and post trade mandate monitoring restrictions using the 2 relevant monitoring systems: JPM TRAC and Blackrock's Aladdin systems. Tasks will include coding or instruction to third parties, review and testing for client take-on's, fund launches and IMA amendments.
- Support the off shored 'Mandate Monitoring' team with daily exception monitoring on JPM TRAC and other manual monitoring activities.
- Undertake automated and manual exception monitoring pre and post trade where required.
- Identify and manage risks and ensure that adequate control processes exist and operate effectively.
- Provide support to the Front Office on queries relating to pre and post trade rules and exceptions.
- Maintenance of the stop and other restricted list on pre trade systems.
- Maintain procedures documents for team tasks as required.
- Build and maintain strong relationships with US, Canada and UK business units.
- Assist with other Mandate Monitoring projects and initiatives including audit points and the BAU Actions and Issues Log.
- To review and interpret new and amended IMA's / Prospectus' to determine if the rules can be automated.
- Experience in mandate monitoring with an investment management organisation in relation to ensuring compliance to Investment & Borrowing Powers and client mandate restrictions. Experience to include rule coding and exception monitoring and resolution with investment managers.
- Excellent organisational, time management and decision making.
- Strong understanding of the investment management process across the full range of asset classes and client types.
- Strong understanding of compliance monitoring processes including interpretation of discretionary client investment management agreements.
- Strong IT literacy as a business user. Experience in BRS Aladdin, JPM TRAC an advantage.
- Good understanding of project management methodologies.
- Self motivated.
- Excellent communication skills - verbal & written.
- Good education ideally degree qualified and/or professional qualification
- Comprehensive experience in trade compliance monitoring an advantage.
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